ML19308A020

OMB 3150-0136, Draft 2020 Collection Renewal Notice of Enforcement Discretion for Operating Power Reactors and Gaseous Diffusion Plants (NRC Enforcement Policy) - Supporting Statement

ML19308A020
Person / Time
Issue date:	12/17/2019
From:	Division of Operating Reactor Licensing
To:	NRC/OCIO
Ed Miller
Shared Package
ML19302F408	List: ML19308A020 ML19308A028 ML20006C912 ML20006E391 ML20006G242 ML20007E298 ML20007F826
References
NRC-2019-0218, OMB 3150-0136
Download: ML19308A020 (6)

Text

DRAFT SUPPORTING STATEMENT FOR NOTICE OF ENFORCEMENT DISCRETION FOR OPERATING POWER REACTORS AND GASEOUS DIFFUSION PLANTS (NRC ENFORCEMENT POLICY)

EXTENSION (3150-0136)

Description of the Information Collection The Nuclear Regulatory Commissions (NRC) enforcement program is governed by its regulations. Title 10 of the Code of Federal Regulations (10 CFR) Part 2, Rules of Practice for Domestic Licensing Proceedings and Issuance of Orders, Subpart B, Procedure for Imposing Requirements by Order, or for Modification, Suspension, or Revocation of a License, or for Imposing Civil Penalties, describes the formal procedures that the NRC uses to implement its enforcement authority.

It is NRC policy to hold licensees, certificate holders, and applicants responsible for the acts of their employees, contractors, or vendors and their employees, and the NRC may cite the licensee, certificate holder, or applicant for violations committed by its employees, contractors, or vendors and their employees.

When noncompliance with NRC requirements occurs, the NRC must evaluate the degree of risk posed by the noncompliance to determine whether immediate action is required. In these circumstances, a licensee or certificate holder may voluntarily request that the NRC exercise enforcement discretion and the NRC staff may choose to not enforce the applicable license or certificate condition. This enforcement discretion is designated as a Notice of Enforcement Discretion (NOED).

A licensee or certificate holder seeking the issuance of a NOED must justify, in accordance with guidance provided in the NRC Enforcement Manual, the safety basis for the request, including an evaluation of the safety significance and potential consequences of the proposed request, a description of proposed compensatory measures, a justification for the duration of the request, the basis for the licensee's or certificate holders conclusion that the request does not have a potential adverse impact on the public health and safety, and does not involve adverse consequences to the environment, and any other information the NRC staff deems necessary before making a decision to exercise discretion.

The Enforcement Policy of the NRC includes the circumstances in which the NRC may grant a notice of enforcement discretion (NOED). On occasion, circumstances arise when a power plant licensee's compliance with a Technical Specification (TS) Limiting Condition for Operation or any other license condition would involve an unnecessary plant shutdown. Similarly, for a gaseous diffusion plant (GDP), circumstances may arise where compliance with a Technical Safety Requirement (TSR) or other condition would unnecessarily call for a total plant shutdown, or, compliance would unnecessarily place the plant in a condition where safety, safeguards, or security features were degraded or inoperable.

In these circumstances, a licensee or certificate holder may request that the NRC exercise enforcement discretion, and the NRC staff may choose to not enforce the applicable TS, TSR, or other license or certificate condition. This enforcement discretion is designated as a NOED.

A licensee or certificate holder seeking enforcement discretion must verbally request so, and then, subsequently document and submit to the NRC by letter in accordance with guidance in the NRCs Enforcement Manual. The request includes the safety basis for the request, including an evaluation of the safety significance and potential consequences of the proposed request, a description of proposed compensatory measures, a justification for the duration of the request, the basis for the licensee's or certificate holders conclusion that the request does not have a potential adverse impact on the public health and safety, and does not involve adverse consequences to the environment, and any other information the NRC staff deems necessary before making a decision to exercise discretion.

A. JUSTIFICATION

1. Need for and Practical Utility of the Collection of Information The Commission believes that the NRC staff needs the information to quickly exercise discretion in this area in order to avoid unnecessary plant shutdowns, to minimize both operational and shutdown risk, or to avoid unnecessary delays in plant startup where the course of action involves minimal or no safety impact on the public health and safety. Exercise of enforcement discretion may be appropriate only where the exercise of discretion is temporary and nonrecurring.

The NRC might approve a NOED where a license or certificate amendment is not appropriate for the expected noncompliance. It may also be appropriate to approve a NOED for the brief period of time it requires for the NRC staff to process an exigent TS amendment under the provisions of 10 CFR 50.91(a)(6),

or to process an amendment to change a TSR or certificate condition under the provisions of 10 CFR Part 76.

2. Agency Use of Information The agency will use the information voluntarily provided by a licensee or certificate holder to determine if the exercise of enforcement discretion is clearly consistent with protecting the public health and safety, and there is no potential for adverse consequences to the environment as evaluated by Appendix F.

3. Reduction of Burden Through Information Technology There are no legal obstacles to reducing the burden associated with this information collection. The NRC encourages respondents to use information technology when it would be beneficial to them. The NRC has issued Guidance for Electronic Submissions to the NRC which provides direction for the electronic transmission and submittal of documents to the NRC. Electronic transmission and submittal of documents can be accomplished via the following avenues: the Electronic Information Exchange (EIE) process, which is available from the NRC's Electronic Submittals Web page, by Optical Storage Media (OSM) (e.g.

CD-ROM, DVD), by facsimile or by e-mail. It is estimated that approximately

65% of the potential responses are filed electronically as that is roughly the number of licensees who participate in the EIE process.

4. Efforts to Identify Duplication and Use Similar Information No sources of similar information are available. There is no duplication of requirements.

This information is only necessary when a licensee or certificate holder seeks the issuance of a NOED. There is no other time the relevant information is required to be submitted, and there is no source for the information other than licensees or certificate holders.

5. Effort to Reduce Small Business Burden Not applicable.

6. Consequences to the Federal Program or Policy Activities if the Collection is Not Conducted or is Conducted Less Frequently This action is strictly voluntary and information is required only upon the licensee's or certificate holders request for enforcement discretion or a request for enforcement discretion.

The impact of this information collection on each licensee or certificate holder is inconsequential in comparison with the alternative: follow license or certificate conditions, cease power operations, and either shut down the plant; perform testing, inspection, or system realignment that is inappropriate for the specific plant conditions; or delay plant startup. Requesting that the NRC staff exercise enforcement discretion is strictly a voluntary option for all licensees and certificate holders.

7. Circumstances Which Justify Variation From OMB Guidelines This action does not vary from OMB guidelines.

8. Consultations Outside the NRC Opportunity for public comment on the information collection requirements for this clearance package has been published in the Federal Register.

9. Payment or Gift to Respondents Not applicable.

10. Confidentiality of Information Confidential and proprietary information is protected in accordance with NRC regulations under 10 CFR 9.17(a) and 10 CFR 2.390(b).

11. Justification for Sensitive Questions Not applicable.

12. Estimate of Industry Burden and Burden Hour Cost Since requesting a NOED is voluntary, only an estimate can be made of the number of licensees and certificate holders choosing to implement its requirements. Over the last three clearance cycles, the NRC has received on average 4 request annually from power plant licensees and 0 requests from GDP certificate holders; therefore, the NRC staff estimates that 4 power plant licensees and 0 GDP certificate holder will request 1 NOED annually. The burden estimate per request is 150 hours0.00174 days <br />0.0417 hours <br />2.480159e-4 weeks <br />5.7075e-5 months <br />; the annual burden is 600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> (4 licensees/certificate holders x 150 hours0.00174 days <br />0.0417 hours <br />2.480159e-4 weeks <br />5.7075e-5 months <br />).

The total annual reporting burden is 600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> (150 x 4 = 600).

As a result of requesting a NOED, there is an implied recordkeeping burden.

This recordkeeping burden is estimated at 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> (20 hours2.314815e-4 days <br />0.00556 hours <br />3.306878e-5 weeks <br />7.61e-6 months <br /> per recordkeeper) for maintaining a copy for the licensees records. It is also anticipated that most licensees will maintain a copy for their records.

The total annual burden is 680 hours0.00787 days <br />0.189 hours <br />0.00112 weeks <br />2.5874e-4 months <br />. The total cost at $278 an hour is $189,040 (680 hours0.00787 days <br />0.189 hours <br />0.00112 weeks <br />2.5874e-4 months <br /> x $278/hr).

Total Burden/Cost: 680 hours0.00787 days <br />0.189 hours <br />0.00112 weeks <br />2.5874e-4 months <br /> (600 hrs reporting + 80 hrs recordkeeping)/$189,040 Total Respondents: 4 (4 licensees requesting NOEDs)

Total Responses: 8 (4 responses and 4 recordkeepers)

The $278 hourly rate used in the burden estimates is based on the Nuclear Regulatory Commissions fee for hourly rates as noted in 10 CFR 170.20 Average cost per professional staff-hour. For more information on the basis of this rate, see the Revision of Fee Schedules; Fee Recovery for Fiscal Year 2019 (84 FR 22331, May 17, 2019).

13. Estimate of Other Additional Costs NRC has determined that the records storage cost is roughly proportional to the recordkeeping burden cost. Based on a typical clearance, the records storage cost has been determined to be equal to 0.0004 percent of the recordkeeping burden cost. Therefore, the records storage cost for this clearance is $9 (80 x 0.0004 x $278/hour).

14. Estimated Annual Cost to the Federal Government The staff has developed estimates of annualized costs to the Federal Government related to the conduct of this collection of information. These estimates are based on staff experience and subject matter expertise and include the burden needed to review, analyze, and process the collected information and any relevant operational expenses.

The estimated annual burden to the government for reviewing licensee and certificate holder requests for enforcement discretion is 40 hours4.62963e-4 days <br />0.0111 hours <br />6.613757e-5 weeks <br />1.522e-5 months <br /> per request.

Approximately 4 licensees and 0 certificate holder are expected to request 1 enforcement discretion each year. Therefore, the burden is estimated at 160 hours0.00185 days <br />0.0444 hours <br />2.645503e-4 weeks <br />6.088e-5 months <br /> (4 licensees/certificate holders x 40 hours4.62963e-4 days <br />0.0111 hours <br />6.613757e-5 weeks <br />1.522e-5 months <br />). The cost at $278 an hour is

$44,480.

15. Reasons for Change in Burden or Cost There is no change in the burden. The hourly rate has changed from $265 to

$278 per hour.

16. Publication for Statistical Use None.

17. Reason for Not Displaying the Expiration Date The requirement is contained in the NRC Enforcement Policy. Revising the Enforcement Policy to update the expiration date unnecessarily expends scarce agency resources.

18. Exceptions to the Certification Statement Not applicable.

B. COLLECTIONS OF INFORMATION EMPLOYING STATISTICAL METHODS Not applicable.

GUIDANCE DOCUMENTS FOR INFORMATION COLLECTION REQUIREMENTS CONTAINED IN NOTICE OF ENFORCEMENT DISCRETION FOR OPERATING POWER REACTORS AND GASEOUS DIFFUSION PLANTS (NRC ENFORCEMENT POLICY) 3150-0136 Title Accession number Nuclear Regulatory Commission ML19193A023 Enforcement Manual, Appendix F Nuclear Regulatory Commission ML19123A129 Enforcement Policy